How to apply

Trading in Australia

If you intend to trade shares on the ASX market, you need to download and read the UBS Terms and Conditions and return a completed CHESS application form to Direct Broking - to complete the CHESS application form please refer to the instructions below.

UBS - Terms and Conditions

CHESS - Individual, Joint and Partnerships

CHESS - Company

CHESS - Trust

Trading on the NXT market

NXT Acknowledgment Form

Trading on the unlisted market

Unlisted Disclaimer Form

The Foreign Account Tax Compliance Act (FATCA)

W-9 form Instructions

W-8BEN form Instructions

W-8BEN-E form Instructions

W-8IMY form Instructions

1. We cannot accept a “W” form that has been corrected by hand or corrective substances (twink, white-out etc). If any corrections need to be made to your form, you must start over and complete a new copy of the form.
2. When completing a W-9 form, please ensure you write the date as Month DD YYYY (e.g. January 1 2000) to avoid confusion between American and New Zealand date formatting.
3. When completing a W-9 form, if you have changed your surname, for instance, due to marriage without informing the Social Security Administration of the name change, you should enter your first name, the surname name shown on your social security card and your new surname. You should then circle the parts of your name that are associated with your social security number (your first name and your previous surname).
4. While revocation of US citizenship documents provide useful insights into your current status, we still need a W-8BEN to be completed by those who have previous connections to the US.
5. We will not accept any "W" form that has been signed and dated more than 3 months prior to the date that the details of the form are recorded in our system.

Read more about FATCA  arrow_forward

Account Maintenance

Individuals, Sole Traders, Minors and joint-individuals, please complete the following change of details form.

Change details for Individual or Joint accounts

AND if the account holder is a tax resident of one or more countries other than New Zealand, please complete the following tax form (one per account holder).

Individual - Tax Residency and Foreign Tax Information Form

Company, Trust or Partnership, please complete the following change of details form.

Change details for Trust or Company accounts

AND if the entity or any Controlling Person is a tax resident of one or more countries other than New Zealand, please complete the following form:

Entity - Tax Residency and Foreign Tax Information Form

1. The supplement forms mentioned in the application and tax forms above may be found in the Supplement Forms section of this page.
2. It is your responsibility to inform all Share Registries (for NZ holdings and all non-CHESS AUS holdings) of these changes in writing
3. Discrepancies between the registry records and Direct Broking records will cause delays in settling transactions.
4. CHESS Account Holders: as this is a broker sponsored account, it is our responsibility to advise your CHESS provider of these changes.

One-off Sale

Estate Accounts Requirements

Registry Forms

New Zealand off-market transfer form: Computershare

New Zealand off-market transfer form: Link Market Services

Supplement Forms

Financial Institution Worksheet

Power of Attorney Supplement Form

FATCA Reasonable Explanation Form